Cole T. Holmlund

ALAETHES WEALTH

Rancho Santa Fe, CA

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CRD#: 6908341

Professional summary

Cole Theodore Holmlund is a registered financial advisor currently at ALAETHES WEALTH, LLC located in Rancho Santa Fe, California.

Cole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Cole has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cole Theodore Holmlund's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 12, 2020 - Present

ALAETHES WEALTH, LLC

RIA

CRD#: 304920

Rancho Santa Fe, CA

Past

January 10, 2019 - April 4, 2019

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALAETHES WEALTH, LLC

CRD#: 304920 / SEC#: 801-119436

RIA

Registered Investment Advisory firm - (9/11/2020 Approved)

California

Registered Investment Advisory firm - (10/14/2020 Terminated)

Nevada

Registered Investment Advisory firm - (10/19/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/12/2020)

IAR

Nevada
(8/27/2020)

IAR

Texas
(11/21/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/30/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/1/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/10/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/10/2019

Securities Industry Essentials Examination

Current Firm

ALAETHES WEALTH, LLC

CRD#: 304920 / SEC#: 801-119436

RIA

Registered Investment Advisory firm - (9/11/2020 Approved)

California

Registered Investment Advisory firm - (10/14/2020 Terminated)

Nevada

Registered Investment Advisory firm - (10/19/2020 Terminated)

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Contact information

Main Address

Glenbrook, NV

Mailing Address

Po Box 10, Glenbrook, NV 89413

Phone number

(858) 735-9685

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A SEC (1/21/2025)

Regulatory assets under management

Total Number of Accounts	263
AUM (Assets Under Management)	$ 439,416,515

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Cole T. Holmlund

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cole Theodore Holmlund's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALAETHES WEALTH, LLC

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

ALAETHES WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/2020

Series 63

Date: 3/1/2019

Series 7TO

Date: 1/10/2019

SIE

Date: 1/10/2019

Current Firm

ALAETHES WEALTH, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALAETHES WEALTH, LLC

TRUST BUT VERIFY

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